The Ultimate Guide to Hiring Top Financial Advisors

Hiring financial advisors is different than hiring salespeople. You’re hiring someone who will represent your brand, manage client trust, and operate within strict compliance standards—all while driving growth.

Define the advisor model

Clarify up front:

• client type (mass affluent, HNW, business owners)

• business model (planning-led vs product-led vs hybrid)

• prospecting expectations (events, COIs, calling, referrals)

• book expectations (transferable, build from scratch, transitions)

• licensing/registration requirements and support

Screen for what actually predicts success

• Ethics + compliance maturity (non-negotiable)

• Planning philosophy (can they explain it simply?)

• Business development system (not just “I network”)

• Client care mindset (service and retention behaviors)

Interview questions that separate real advisors

• “How do you explain your planning process to a skeptical prospect?”

• “What’s your weekly business development cadence?”

• “Tell me about a client you retained through a tough market—what did you do?”

• “How do you stay compliant while still moving business forward?”

Add a “mini case” work sample

Give a simple scenario:

• a couple nearing retirement

• a business owner with cash flow issues Ask for a 5–7 minute outline of how they’d approach the first meeting.

Make the offer clear

Top advisors want clarity on:

• platform/tools/support

• lead sources vs self-gen expectations

• payout/comp structure and growth path

• transition support and onboarding

How True Axis Recruiting helps

We match advisors based on alignment—planning approach, client type, business model, and culture—so your hires stick and grow.  Schedule a call